ETD (Electronic Theses and Dissertations) Cataloging
For general information on the UF Electronic Thesis and Dissertation program see the Selected ETD Web Pages listed at the end of this guideline.
This cataloging procedure only applies to ETDs from departments affiliated with the Smathers Libraries other than the Health Science Center Libraries (see Location Codes in UF Theses (Paper Format)). Health Science Center Libraries staff follow their own procedures and work with ETDs from their affiliated departments.
After the end of each semester, a staff member in the Authorities & Metadata Quality Unit of the Cataloging & Metadata Dept. will be notified by FCLA when the MARC records for the ETDs have been loaded in Aleph. FCLA will send the staff member a spreadsheet listing entity ID, restriction information, author, & title for the ETDs. The Graduate School sends the Preservation Dept. a list of the ETDs which includes any access restrictions to the ETDs specified by the authors. The Preservation Dept. forwards the list to the Authorities & Metadata Quality staff member.
Authorities & Metadata Quality staff member should:
1) Verify that access restriction information on Aleph records and on the FCLA spreadsheet matches the Graduate School ETD list. Make any needed corrections on the Aleph records and on the FCLA spreadsheet.
2) Verify that “secret” theses are only accessible to FCLA staff. (These are on the Graduate School ETD list with the restriction “secret” and on the FCLA spreadsheet with the restriction "private.") If any are accessible to staff member, notify Assistant Director, Digital Library Services at FCLA immediately. Add "$$xINACCESSIBLE UNTIL [date restriction ends]" to 856 field in records for all "secret" theses. Add an "STA SUPPRESSED" field to the bib and holdings records. Create duplicate, brief records for "secret" theses that will display in the OPAC that contain the following fields from the original record: LDR, 005-008, 100, 260, 502, 590, 690, OWN, TKR. Include a 245 field with the following text: "Record for a UF [dissertation or thesis]. Title & abstract won't display until [dissertation or thesis] is accessible after [date restriction ends]." Add an "STA PROVISIONAL" field.
3) Indicate which ETDs are from departments affiliated with the Health Science Center Libraries on FCLA spreadsheet. If staff member notices a difference on the ETD title page in the surname or first name of the author, indicate the change(s) in red.
4) Check for ETDs submitted from new departments not listed in Browse by UF departments linked from the UF Libraries - Electronic Theses & Dissertations page. Submit a Grover ticket to Information Technology when new dept. name needs to be added to list.
5) Add a 690 field for the major department to the Aleph records for doctoral dissertations from the College of Design, Construction & Planning.
6) Send copy of Grad School theses list to the Contributed Cataloging Unit Head (for AGRICOLA), and to the staff member in the Health Science Center Libraries who catalogs ETDs.
7) Send a copy of updated FCLA spreadsheet to the Reformatting & Binding Unit Head, Preservation Department.
8) Send copy of entries on updated FCLA spreadsheet for ETDs from departments affiliated with the Health Science Center Libraries to the staff member in the Health Science Center Libraries who catalogs ETDs.
9) Send copy of all other entries on updated FCLA spreadsheet except the entries for "secret" theses to the head of the Copy Cataloging Unit, Cataloging & Metadata Dept.
10) Let the librarian who catalogs music and Latin American materials know the Aleph system nos. for the records for ETDs in these subject areas. He will add LC subject headings to the records.
Workflow in Copy Cataloging Unit:
1) Copy Cataloging Unit Head divides FCLA spreadsheet into spreadsheets for individual catalogers.
Catalogers proceed as follows:
2) For each ETD, copy abstract from ETD, paste into Aleph record and delete previous version of abstract.
Copy the number beginning with "UFE" from the leftmost column in the spreadsheet.
In Aleph, click on the binoculars icon.
Under "Search" click on "Find."
Select Tab 2 (Multi-base CCL Search).
In the CCL Query box type "wur=" (without quotes), paste the UFE no., press Enter.
Click on Catalog button.
Copy URL from 856 field subfield u
Pull up pdf file for ETD in browser. Navigate to abstract.
Copy abstract. Paste in Aleph record in 520 fields with 1st indicator 3. (Put "ABSTRACT: " (without quotes) at the beginning of the first 520 field.)
Delete 520 fields containing previous version of abstract.
3) If you wish, make printouts of title pages and abstracts for ETDs you are cataloging.
4) Edit records in Aleph
The first step in editing is done by a macro.
Open MacroExpress if not already open.
Make sure the "cataloging.mex" folder is the active one.
Make sure the Aleph Cataloging module is open.
In the spreadsheet, click in the cell that has the 1st UFE no.
Click on the book icon in the system tray in the lower right hand corner of your screen.
Click on "bibliographic"
Click on "etd_edit_1" to start the editing macro.
Macro will call up each Aleph bib record and add a 588 field for the Creative Commons public domain dedication. It will add a 599 field with the cataloger's initials. It will put a space after the comma in the 100 field. It will put each of the terms in the 653 field in a separate subfield "a." It will then call up the holdings record and add a NEW field. It will also add a trigger with text "remoteERorig 1”, department “UFCOPY”, open date and trigger date set to the current date. It will then go to the next record and do the same.
Cataloger should check the following in each record and make changes as needed:
Title - check against title page for typos and needed capitalization. (Type "Ctrl' and "f" to search in the abstract in the record for clues as to what words need to be capitalized.)
Check 245 filing indicator.
Author - change form of author’s name in 245 $$c to match title page.
IMPORTANT: Search Aleph to determine if we have other works by this author.
If so, make form of name in 100 match form already in Aleph.
If not, make form of name match title page. However, leave off “Jr.”, “II”, “III”, etc. from the name in the 100.
For example:
Title page has “Edward Talbot, Jr.”
Case 1: We have another title in Aleph by the same Edward Talbot.
100 field in the other record-- “Talbot, Edward Ames.”
100 field in your record should have “Talbot, Edward Ames.”
245 field in your record should have “Edward Talbot, Jr.”
Case 2: There is no other title in Aleph by the same Edward Talbot.
100 field in your record should have “Talbot, Edward.” (“Jr.” not included)
245 field in your record should have “Edward Talbot, Jr.”
Degree (found in 502 field and one 690 field) - check against title page; standardize abbreviation if necessary (see Graduate Degrees in UF Theses (Paper Format))
Adviser (Chair) - check against first page of abstract for typos; otherwise do not modify **Exception: If there are only first and middle initials, make sure there is a blank space between them.**
690 fields -- Major Dept. and Major -- Sometimes the major dept. and major are the same; sometimes not. See below for more details.
Major Dept. (found in "Dissertations, Academic" 690 field) - Other than the exception below, accept what is in bib record.
Occasionally the ETD will have an indication of a school, center or college. This probably won’t be in the record. If there, it should be deleted. For example:
ETD: Center for Latin American Studies
Record should say: Latin American Studies
ETD: School of Music
Record should say: Music
ETD: College of Journalism and Communications
Record should say: Journalism and Communications
Major (found in 690 field ending with the degree abbreviation) - check against first page of abstract for typos. Other than the exception below, record should match what is on first page of abstract.
Occasionally the ETD will have an indication of a school, center or college. This probably won’t be in the record. If there, it should be deleted. For example:
ETD: Center for Latin American Studies
Record should say: Latin American Studies
ETD: School of Music
Record should say: Music
ETD: College of Journalism and Communications
Record should say: Journalism and Communications
Abstract – Scan abstract in the ETD for apostrophes, quotation marks, diacritics and special characters.
Put apostrophes and quotation marks in record if missing.
Diacritics and special characters that appear on the Connexion keyboard--if not displaying properly, input correctly. (Do not correct numbers that are superscript or subscript in the ETD but are not so in Aleph record.)
Diacritics and special characters that do NOT appear in the Connexion keyboard--if not displaying properly, input correctly if possible. Otherwise substitute "..."
If they are displaying properly, leave as is. You will replace them by "..." in Connexion only, not in Aleph.
Ask for assistance from the Contributed Cataloging Unit, if needed.
653 fields (keywords) - Capitalize words where needed; put acronyms in caps where needed (Type "Ctrl' and "f" to search in the abstract in the record for clues or use the "find" function in Acrobat Reader to look at the entire ETD.)
Subject headings - If record has subject headings, change the "Encoding level " (LDR field, position 17) from K to I.
Cataloger does not need to make a printout of record to put in the Record Editing box.
5) Create a set of records in Aleph to export to Connexion.
Click on the binoculars icon.
Under "Search" click on "Find."
Select Tab 2 (Multi-base CCL Search).
In the CCL Query box type "wtk=etd[graduation date in yyyymm form] and wns=[your initials from 599 field]", then click "OK."
Examples:
May 2009 graduation, cataloger initials: sh "wtk=etd200905 and wns=sh"
August 2007 graduation, cataloger initials: gl "wtk=etd200708 and wns=gl"
Highlight set in list at bottom. Make a note of the no. of records in your set.
Click on "save" button.
"Save on server/Load from server" box appears.
Give your set a name (e.g., etd0708gl). Make a note of the name. Aleph will capitalize the letters in the name whether you do or not. This is not a problem.
Click "OK."
6) Export the set of records from Aleph.
In the top menu bar go to "Services," then "Retrieve Catalog Records," then "Download Machine-Readable Records (print-03). " The print-03 dialog box will appear.
Make sure the Print to ADM Lib box on the right is unchecked (only necessary the first time you use Services).
Fill in boxes as follows:
Input: [name of set you saved on server, for example, etd0708gl]
Output: [name of set you saved on server with ".dat" added, for example, etd0708gl.dat]
Field 1: ALL
Format: MARC
Character Conversion: UTF_TO_MARC8
Check to make sure the form is filled as you want it to be, then click on "Submit."
A "Server Message" dialog box should appear saying "Job was submitted to queue."
Click on "OK."
Create a folder on your computer in which to place the file of records that you export from Aleph.
Open a Mozilla Firefox session.
If not done previously, in the top menu bar go to "Tools," then "Options."
In the Options box, in the row of icons at the top, make sure "General" is highlighted.
Under Downloads, you may want to uncheck the box next to "Show the Downloads Window when downloading a file."
Click on the button next to "Always ask me where to save files"
Click on "OK."
To retrieve the set of records from the Aleph server, go to the Production server via the Web: http://uf.aleph.fcla.edu/S
Step 1--Click on the underlined word "here" to identify yourself using your Aleph user name and password.
(The Firefox pop-up blocker may keep the box for entering your user name and password from opening. If so, go to the bar near the top of the screen with the words "Firefox prevented this site from opening a pop-up window." Click on the "Options" button. Click on "Allow pop-ups for uf.aleph.fcla.edu" Then click on the underlined word "here" and the box should open.)
Step 2--Click on "View/Download Files"
Choose "ufu01/scratch"
Your output file (e.g., etd0708gl.dat) should be in the list of files, near the top.
Click on the "Download" button across from your output file, or,
Right-click on the output file and choose "Save Link As..."
You will be prompted to save the file.
Click "OK."
Navigate to the folder you created previously and click on it.
Click "Open."
Click "OK."
7) Import file of records to your Connexion local save file
Open Connexion client but do not log on.
If not done previously, in the menu, go to "Tools," then "Options."
Choose the "General" tab.
Click on "Offline Cataloging Options."
In the "Offline Cataloging Options" box:
"Holding Library Code" box, type: "FUGG"
"Institution Symbol" box, type: "FUG"
"MARC Organization Code" box, type: "FU"
Click "OK."
Click "OK."
In the menu, go to "File," then "Local File Manager."
In the Local File Manager dialog box, in the upper left under "Choose File Type," click on "Bibliographic."
In the box under "Files," there should be a check mark for the entry with file name "COPY_CAT_ETDs_[cataloger's name].bib.db" in the 2nd column.
If this entry is not checked, double click on it.
Close Local File Manager dialog box.
Press "F3," then "Enter." This will open your file of ETD records on the server.
If you have any records remaining from the previous semester's ETDs--
Highlight the records in the list.
Go to "Action" then "Delete Record"
Click on "Yes" or press "Enter."
Close the record file.
In the menu, go to "File," then "Import Records."
In Import Records dialog box, click on "Browse."
Navigate to where the file of records is on your computer.
Highlight file name and click on "Open."
In the "Import Records" box that opens, click on the "Record Characteristics" button.
In the "Record Characteristics" box, "Bibliographic Records" section, make sure the "Character Set" is MARC-8. Change it to MARC-8 if necessary.
Click on "OK."
In the "Import Records" box, under "Destination," click on radio button next to "Import to Local Save File."
Click on "OK."
An "Import Results" screen should appear, telling you the number of bibliographic records successfully imported.
Make sure all the records in your file were imported.
A dialog box will also appear, asking "Do you want to delete your original import file?" Click on "No."
8) Edit records in Connexion.
Open MacroExpress if not already open.
Make sure the "cataloging.mex" folder is the active one.
Open Connexion client but do not log on.
Open local save file (press "F3" then click on "OK").
Double click on the first record to be edited.
Click on the book icon in the system tray in the lower right hand corner of your screen.
Click on "bibliographic"
Click on "etd_edit_2" to start the editing macro.
Macro will delete 035 fields and the 950 field.
The macro will search for some characters that will not validate and replace them. It will also replace some Unicode coding (for example, \U+2013\) with the appropriate character.
(If the macro pauses a long time after starting with a new record, move the mouse. The macro will usually continue.)
(If you ever need to stop the macro, right-click on the "running man" at the bottom right of your screen.)
After the macro searches for "\U+2019\", it will pause to allow you to do other needed editing.
653 field - Check for diacritics problems
066 field - If there is an 066 field in the record, there are vernacular characters in the record. Almost always they are Greek letters in the abstract. You will substitute "..." (without the quotes) for them.
Once you've found a Greek letter, copy it.
Click at the beginning of the first 520 field.
Type "Ctrl" + "f" to call up the "Find/Replace" box.
Paste the Greek letter in the "Find What" box.
Put "..." (without the quotes) in the "Replace With" box.
Click on "Find Next"
Click on "Replace"
Continue until you've replaced each instance of the Greek letter.
Type "Ctrl" + "r" to reformat the record.
If the 066 field disappears, you've found all the Greek letters or other vernacular characters.
If not, keep looking for another vernacular character.
Validate record - Press the "Shift" and "F5" keys. Any validation error messages usually refer to a character in the abstract that does not appear in the Connexion keyboard. In that case, substitute "..." (without the quotes) for the character.
Once any needed changes have been made, validate the record, then hit "Esc" to restart the macro.
After you hit "Esc", an "R" will appear next to "Update Holdings" at the bottom of the screen. This marks the record so that it will be uploaded to OCLC WorldCat and have our holdings added in the next step.
Macro will proceed to the next record, do its editing and then pause.
Make any needed edits and validate.
9) Contribute the records to OCLC
To "update holdings" in batch for the records you've marked:
Open Connexion client but do not log on.
Go to "Batch", then "Process Batch"
Under "Path", put a check in the box next to the entry with file name "COPY_CAT_ETDs_[cataloger's name].bib.db" in the 2nd column. (There will already be a big red check mark next to the entry.)
Under "Process", check the box next to "Online Record Actions"
Click on "OK."
Connexion will add the records marked in the previous step to WorldCat and add our holdings as well.
When the process is finished a Batch Record Action Report will appear.
Don't close the report!
Open a Notepad file.
In the Batch Record Action Report, highlight the information in the columns under "Save #", "Control #", "Title" and "Record Action." Copy the highlighted information and paste it into the Notepad file.
In the Notepad file, delete everything except the OCLC nos. from the "Control #" column. Leave each OCLC no. on a separate line.
In the menu, go to "File/Save As."
Give the file a name and save it to your computer.
Close the Notepad file.
Make a note of any records whose holdings were not updated in OCLC.
Close the Batch Action Report.
Make needed corrections to records whose holdings were not updated then repeat this step.
10) Copy OCLC nos. of contributed records to corresponding Aleph records
Open MacroExpress (click on blue "M" with a red line through it in the system tray (bottom right corner of screen))
In the 2nd menu bar at the top of the screen, click on the open file folder icon (2nd icon from the left).
In the "Open Macro File" box, in the left-hand column, click on "My Network Places"
In the large box, double click on "uflib on ad.ufl.edu "
Double click on "DeptData"
Double click on "Cataloging"
Double click on "Authorities_&_Metadata_Quality"
Double click on "ETDs"
Double click on "ETD_uploads_to_OCLC"
Double click on "ETDupload.mex"
Double click on the "Retrieve OCLC # Add to Aleph" macro in the list.
In the "Macro Script box," double click on the 2nd line that begins "Text File Begin Process:"
Click on the "Browse" button.
Navigate to the location of the Notepad file you created in the previous step.
Highlight the file and click "Open."
Click on "OK."
In the 2nd menu bar at the top of the screen, click on the floppy disk icon (1st icon on the left).
This saves the change to the macro.
In the "Actions column," click on the "Macro Explorer" icon.
Open Connexion client and log on.
Open the Aleph Cataloging module.
Press "Windows" key + "F7" to start "Retrieve OCLC # Add to Aleph" macro.
Working from the list of OCLC nos. in the Notepad file, the macro will call up the corresponding records in Connexion. The macro will copy the contents of the 856 field but keep only the part of the URL beginning with "UFE" followed by 7 digits. The macro then does a URL keyword search in Aleph using the part of the URL from the Connexion record (e.g., wur=UFE0024488) to call up the corresponding Aleph record. It then adds the OCLC no. to the Aleph record in an 035 field.
If macro does not work on your computer, send the Notepad file with OCLC numbers as an e-mail attachment to the staff member in the Authorities & Metadata Quality Unit who works with ETDs.
11) Connect back to MacroExpress macro file used for regular cataloging
Maximize the MacroExpress window.
Click on the down arrow to the right of the "open file folder" icon.
Click on the path that ends with "cataloging.mex" (should be the first path in the list)
The Cataloging macro will again be the active macro on your computer.
Selected ETD Web Pages
UF Electronic Theses and Dissertations Catalog
Electronic Theses and Dissertations Committee
Graduate School Editorial Office
Indexed: ETD (Electronic Theses and Dissertations) Cataloging
Theses: UF Theses (electronic format)
UF Theses (Electronic) Cataloging
UF ETD Cataloging
Prepared by: Gerald Langford, Betsy Simpson, Phek Su
Updated: January 12, 2012
